Morgan Stanley recently lost two arbitration cases with former brokers, resulting in million-dollar awards for the disgruntled reps. The arbitration panels found Morgan Stanley to have wrongfully ...

A Southern California registered representative and a broker-dealer executive on Monday lost an arbitration claim of a little more than $1 million in damages to an investor who bought GWG Holdings Inc ...

On July 1, California established a state law requiring private arbitrators to disclose potential conflicts of interest before hearing disputes between brokers and investors. That didn’t sit too well ...

A former registered rep who defended himself in a recent arbitration dispute related to the sale of distressed GWG Holdings Inc. L bonds lost the lawsuit to a client and is on the hook for $122,300 in ...

A $24,000 arbitration win for a breached buyer broker agreement has sparked debate over reputational risks and contract clarity. Experts warn that enforcing these agreements may lead to negative ...

If your broker has lost your money, it may not really be lost. In some cases, arbitration is possible. WSJ's Jason Zweig explains the recourse investors have if they feel their broker's specific ...

Legislation introduced this week would prohibit registered investment advisors, broker-dealers and securities dealers from using customer contracts that contain forced arbitration agreements or ...

Stifel is planning to ask a court to vacate a "windfall" FINRA arbitration award that took the rare step of ordering millions in punitive damages. Processing Content A three-person Financial Industry ...

"I'll see you in court." It's a declaration you might hear on a TV show, in the movies, or perhaps even in your real life, as one aggrieved party threatens to take legal action against another. But ...

NEW YORK, Jan 22 (Reuters) - Stock prices soared last year, but not as much as the number of brokerage customer complaints seeking arbitration. Sign up here. Some 7,137 arbitration cases were filed ...